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PETER DEAN
PETER DEAN PAPPAS, PETER PAPPAS
CRD#: 1216411
IA
B
MORGAN STANLEYCRD#: 149777 6004 La Madrona Drive
Santa Cruz, CA 95060
Santa Cruz, CA 95060
0
Disclosures
41
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
New Jersey 1/13/2014
B
California 6/1/2009
B
New York 6/1/2009
IA
California 6/1/2009
B
North Dakota 5/9/2017
B
Colorado 6/1/2009
B
Ohio 6/10/2014
B
Florida 11/19/2012
B
Oregon 6/1/2009
B
Georgia 11/9/2021
B
Pennsylvania 11/19/2009
B
Hawaii 6/1/2009
B
Texas 1/15/2015
B
Idaho 12/12/2024
IA
Texas 2/24/2020
B
Illinois 2/16/2023
B
Utah 4/27/2011
B
Indiana 6/1/2009
B
Washington 9/27/2010
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Nevada 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/25/2008 - 06/01/2009 | CAPITOLA, CA | |
B | 08/22/2008 - 06/01/2009 | CAPITOLA, CA | |
IA | 04/02/2007 - 09/04/2008 | SANTA CRUZ, CA | |
B | 04/02/2007 - 09/04/2008 | SANTA CRUZ, CA | |
IA | 07/08/1997 - 04/02/2007 | SANTA CRUZ, CA | |
B | 03/09/1984 - 04/02/2007 | SANTA CRUZ, CA | |
B | 01/06/1984 - 03/02/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.